David A. Hausman

Monitoring trading and advisory services is a core responsibility for compliance officers. Although there are good checks and balances in place, it is imperative to improve monitoring. Bolster your best practices with insights into:

• Combatting insider trading, and suspicious trading practices
• Determining when, and how, certain investor fraud matters occur
• Solutions to effectively monitor advisors, and encourage self-monitoring for non-compliance matters

Build a blueprint for overcoming compliance challenges with respect to market manipulation